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The precautionary principle is a moral and political principle which states that if an action or policy might cause severe or irreversible harm to the public or to the environment, in the absence of a scientific consensus that harm would not ensue, the burden of proof falls on those who would advocate taking the action.[1] The principle implies that there is a responsibility to intervene and protect the public from exposure to harm where scientific investigation discovers a plausible risk in the course of having screened for other suspected causes. The protections that mitigate suspected risks can be relaxed only if further scientific findings emerge that more robustly support an alternative explanation. In some legal systems, as in the law of the European Union, the precautionary principle is also a general and compulsory principle of law.[2]
[edit] Formulations of the precautionary principleMany definitions of the precautionary principle exist. Precaution may be defined as "caution in advance," "caution practised in the context of uncertainty," or informed prudence. All definitions have two key elements.
One of the primary foundations of the precautionary principle, and globally accepted definitions, results from the work of the Rio Conference, or "Earth Summit" in 1992. Principle #15 of the Rio Declaration notes:
This definition is important for several reasons. First, it explains the idea that scientific uncertainty should not preclude preventative measures to protect the environment. Second, the use of "cost-effective" measures indicates that costs can be considered. This is different from a "no-regrets" approach, which ignores the costs of preventative action. The 1998 Wingspread Statement on the Precautionary Principle summarizes the principle this way: "When an activity raises threats of harm to human health or the environment, precautionary measures should be taken even if some cause and effect relationships are not fully established scientifically." (The Wingspread Conference on the Precautionary Principle was convened by the Science and Environmental Health Network). The February 2, 2000 European Commission Communication on the Precautionary Principle notes: "The precautionary principle applies where scientific evidence is insufficient, inconclusive or uncertain and preliminary scientific evaluation indicates that there are reasonable grounds for concern that the potentially dangerous effects on the environment, human, animal or plant health may be inconsistent with the high level of protection chosen by the EU". The January 29, 2000 Cartagena Protocol on Biosafety says: "Lack of scientific certainty due to insufficient relevant scientific information . . . shall not prevent the Party of import, in order to avoid or minimize such potential adverse effects, from taking a decision, as appropriate, with regard to the import of the living modified organism in question." It is important to emphasize that, although this principle operates in the context of scientific uncertainty, it is considered by its proponents to be applicable only when, on the basis of the best scientific advice available, there is good reason to believe that harmful effects might occur. The precautionary principle is most often applied in the context of the impact of human actions on the environment and human health, as both involve complex systems where the consequences of actions may be unpredictable. As applied to environmental policy, the precautionary principle stipulates that for practices such as the release of radiation or toxins or massive deforestation the burden of proof lies with the advocates. [2] Concerning potential risks to public health, examples of cases in which the precautionary principle has been advocated (but not always accepted) are: the commercialization of genetically modified foods, the use of growth hormones in cattle raising, measures to prevent the "mad cow" disease, health claims linked to phthalates in PVC toys, among many others. An important element of the precautionary principle is that its most meaningful applications pertain to those that are potentially irreversible, for example where biodiversity may be reduced. With respect to bans on substances like mercury in thermometers, freon in refrigeration, or even carbon dioxide exhaust from automobile engines and power plants, it implies:
The concept includes an implicit ethical responsibility towards maintaining the integrity of natural systems, and acknowledges the fallibility of human understanding. Some environmental commentators take a more stringent interpretation of the precautionary principle, stating that proponents of a new potentially harmful technology must show the new technology is without major harm before the new technology is used.[4][5] [edit] Origins and theoryThe formal concept evolved out of the German socio-legal tradition in the 1930s, centering on the concept of good household management.[4] In German the concept is Vorsorgeprinzip, which translates into English as precaution principle. Many of the concepts underpinning the precautionary principle pre-date the term's inception. For example, the essence of the principle is captured in a number of cautionary aphorisms such as "an ounce of prevention is worth a pound of cure", "better safe than sorry", and "look before you leap".[5] The precautionary principle may also be interpreted as the evolution of the ancient medical principle of "first, do no harm" to apply to institutions and institutional decision-making processes rather than individuals. The precautionary principle is in some ways an expansion of the English common law concept of ‘duty of care’ originating in the decisions of the judge Lord Esher in the late 1800s. According to Lord Esher: “Whenever one person is by circumstances placed in such a position with regard to another that everyone of ordinary sense who did think, would at once recognise that if he did not use ordinary care and skill in his own conduct with regard to those circumstances, he would cause danger or injury to the person, or property of the other, a duty arises to use ordinary care and skill to avoid such danger”. This statement clearly contains elements of foresight and responsibility, but does not refer to a lack of certainty, as the word “would” is used rather than “might”, or “could”. The other important difference is that the duty of care applies only to people and property, not to the environment. In economics, the precautionary principle has been analysed in terms of the effect on rational decision-making of the interaction of irreversibility and uncertainty. Authors such as Epstein (1980)[6] and Arrow and Fischer (1974)[7] show that irreversibility of possible future consequences creates a quasi-option effect which should induce a "risk-neutral" society to favor current decisions that allow for more flexibility in the future. Gollier et al. (2000)[8] conclude that "more scientific uncertainty as to the distribution of a future risk – that is, a larger variability of beliefs – should induce Society to take stronger prevention measures today." [edit] ApplicationThe application of the precautionary principle is hampered by both lack of political will, as well as the wide range of interpretations placed on it. One study identified 14 different formulations of the principle in treaties and nontreaty declarations.[6] R.B. Stewart (2002)[9] reduced the precautionary principle to four basic versions:
In deciding how to apply the principle, analysis may use a cost-benefit analysis that factors in both the opportunity cost of not acting, and the option value of waiting for further information before acting. One of the difficulties of the application of the principle in modern policy-making is that there is often an irreducible conflict between different interests, so that the debate necessarily involves politics. [edit] Strong vs. weakStrong precaution holds that regulation is required whenever there is a possible risk to health, safety, or the environment, even if the supporting evidence is speculative and even if the economic costs of regulation are high. A strong form of the precautionary principle, for example, would call for measures to lessen the risk of environmental harm induced by climate change by incorporating a focus on reducing or preventing the emission of greenhouse gases. In 1982, the United Nations World Charter for Nature gave the first international recognition to the strong version of the principle, suggesting that when "potential adverse effects are not fully understood, the activities should not proceed." The widely publicized Wingspread Declaration, from a meeting of environmentalists in 1998, is another example of the strong version.[10] 'Strong precaution' can also be termed as a "no-regrets" principle, where costs are not considered in preventative action. Weak precaution holds that lack of scientific evidence does not preclude action if damage would otherwise be serious and irreversible. Humans practice weak precaution every day, and often incur costs, to avoid hazards that are far from certain: we do not walk in moderately dangerous areas at night, we exercise, we buy smoke detectors, we buckle our seatbelts.[11] According to a publication by the New Zealand Treasury Department,
[edit] International agreements and declarationsThe World Charter for Nature, which was adopted by the UN General Assembly in 1982, was the first international endorsement of the precautionary principle. The principle was implemented in an international treaty as early as the 1987 Montreal Protocol, and among other international treaties and declarations [7] is reflected in the 1992 Rio Declaration on Environment and Development (signed at the United Nations Conference on Environment and Development). [edit] "Principle" vs. "approach"
[edit] European CommissionOn 2 February 2000, the European Commission issued a Communication on the precautionary principle,[8] in which it adopted a procedure for the application of this concept, but without giving a detailed definition of it. Earlier, the Maastricht Treaty adopted the principle as a fundamental element of environmental policy: Article III-233 of the draft Treaty establishing a constitution for Europe [9]:
After the adoption of the European Commission's Communication on the precautionary principle, the principle has come to inform much EU policy, including that in areas beyond that of environmental policy. It is implemented, for example, in the EU food law and also affects, among others, policies relating to consumer protection, trade and research, and technological development. While a comprehensive definition of the precautionary principle was never formally adopted by the EU, a working definition and implementation strategy for the EU context has been proposed by Rene von Schomberg in Fisher et al. (2006):[14] "Where, following an assessment of available scientific information, there are reasonable grounds for concern for the possibility of adverse effects but scientific uncertainty persists, provisional risk management measures based on a broad cost/benefit analysis whereby priority will be given to human health and the environment, necessary to ensure the chosen high level of protection in the Community and proportionate to this level of protection, may be adopted, pending further scientific information for a more comprehensive risk assessment, without having to wait until the reality and seriousness of those adverse effects become fully apparent". [edit] USAOn July 18, 2005, the City of San Francisco passed a Precautionary Principle Purchasing ordinance, which requires the city to weigh the environmental and health costs of its $600 million in annual purchases – for everything from cleaning supplies to computers. Members of the Bay Area Working Group on the Precautionary Principle including the Breast Cancer Fund, helped bring this to fruition. [edit] JapanIn 1997, Japan tried to use the consideration of the precautionary principle in a WTO SPS Agreement on the Application of Sanitary and Phytosanitary Measures case, as Japan’s requirement to test each variety of agricultural products (apples, cherries, peaches, walnuts, apricots, pears, plums and quinces) for the efficacy of treatment against codling moths was challenged. This moth is a pest that does not occur in Japan, and whose introduction has the potential to cause serious damage. The United States claimed that it was not necessary to test each variety of a fruit for the efficacy of the treatment, and that this varietal testing requirement was unnecessarily burdensome. [edit] AustraliaThe most important Australian court case so far, due to its exceptionally detailed consideration of the precautionary principle, is Telstra Corporation Limited v Hornsby Shire Council. The case was heard in the New South Wales Land and Environment Court under Justice CJ Preston (24 April 2006). The Principle was summarised by reference to the NSW Protection of the Environment Administration Act 1991, which itself provides a good definition of the principle: "If there are threats of serious or irreversible environmental damage, lack of full scientific certainty should not be used as a reasoning for postponing measures to prevent environmental degradation. In the application of the principle… decisions should be guided by: (i) careful evaluation to avoid, wherever practicable, serious or irreversible damage to the environment; and (ii) an assessment of risk-weighted consequence of various options". The most significant points of Justice Preston's decision are the following findings:
[edit] CorporateThe Body Shop International, a UK-based cosmetics company, recently included the Precautionary Principle in their 2006 Chemicals Strategy. [edit] Environment/healthFields typically concerned by the precautionary principle are the possibility of:
The precautionary principle is often applied to biological fields because changes cannot be easily contained and have the potential of being global. The principle has less relevance to contained fields such as aeronautics, where the few people undergoing risk have given informed consent (e.g., a test pilot). In the case of technological innovation, containment of impact tends to be more difficult if that technology can self-replicate. Bill Joy emphasized the dangers of replicating genetic technology, nanotechnology, and robotic technology in his article in Wired Magazine, "Why the future doesn't need us", though he does not specifically cite the precautionary principle. The application of the principle can be seen in the public policy of requiring pharmaceutical companies to carry out clinical trials to show that new medications are safe. Oxford based philosopher Nick Bostrom discusses the idea of a future powerful superintelligence, and the risks that we/it face should it attempt to gain atomic level control of matter.[15]. Application of the principle modifies the status of innovation and risk assessment: it is not the risk that must be avoided or amended, but a potential risk that must be prevented. Thus, in the case of regulation of scientific research, there is a third party beyond the scientist and the regulator: the consumer. In an analysis concerning application of the precautionary principle to nanotechnology, Chris Phoenix and Mike Treder posit that there are two forms of the principle, which they call the "strict form" and the "active form". The former "requires inaction when action might pose a risk", while the latter means "choosing less risky alternatives when they are available, and [...] taking responsibility for potential risks."The academic Thomas Alured Faunce has argued for stronger application of the precautionary principle by chemical and health technology regulators particularly in relation to TI02 and ZNO nanoparticles in sunscreens, biocidal nanosilver in waterways and products whose manufacture, handling or recycling exposes humans to the risk of inhaling multi-walled carbon nanotubes.[16] [edit] Change of laws controlling societal normsAssociate Justice Martha Sosman's dissent [10] in Goodridge v. Department of Public Health, the decision of the Supreme Judicial Court of Massachusetts that mandated legalization of same sex marriage, is an example of the precautionary principle as applied by analogy to changes in culturally significant social policy. She describes the myriad societal structures that rest on the institution of marriage, and points out the uncertainty of how they will be affected by this re-definition. The disagreement of the majority illustrates the difficulty of reaching agreement on the value of competing perspectives. Although the Goodridge case involved interpreting the state constitution, the substantive canon in Anglo-American jurisprudence that derogations of fundamental societal values should be narrowly construed [11] is analogous to the precautionary principle favoring a statutory interpretation that comports with rather than damages the common law and established norms. See, for example, Holy Trinity Church v. United States, 143 U.S. 457 (1892). [edit] Resource management The Traffic Light colour convention, showing the concept of Harvest Control Rule (HCR), specifying when a rebuilding plan is mandatory in terms of precautionary and limit reference points for spawning biomass and fishing mortality rate. Several natural resources like fish stocks are now managed by precautionary approach, through Harvest Control Rules (HCR) based upon the precautionary principle. The figure indicates how the principle is implemented in the cod fisheries management proposed by the International Council for the Exploration of the Sea. In classifying endangered species, the precautionary principle means that if there is doubt about an animal's or plant's exact conservation status, the one that would cause the strongest protective measures to be realized should be chosen. Thus, a species like the Silvery Pigeon that might exist in considerable numbers and simply be under-recorded or might just as probably be long extinct is not classified as "data deficient" or "extinct" (which both do not require any protective action to be taken), but as "critically endangered" (the conservation status that confers the need for the strongest protection), whereas the increasingly rare, but probably not yet endangered Emerald Starling is classified as "data deficient", because there is urgent need for research to clarify its status rather than for conservation action to save it from extinction.[citation needed] [edit] Criticisms[edit] Threshold of plausibilityThe Wingspread Statement version of the PP takes the form "When an activity raises threats of harm to human health or the environment, precautionary measures should be taken even if some cause and effect relationships are not fully established scientifically". When applying this principle, it is recommended that society establish a minimal threshold of scientific certainty or plausibility before undertaking precautions. Normally, no minimal threshold of plausibility is specified as a “triggering” condition, so that any indication that a proposed product or activity might harm health or the environment is sufficient to invoke the principle. Often the only precaution taken is a ban on the product or activity.[17]. [edit] Negative consequences of applicationThe Precautionary Principle may cause resentment, since people are more aware of negative changes than they are positive changes (i.e. a ban is more noted than allowing a proposal to proceed). Because of this effect, a technology which brings advantages may be banned by PP because of its potential for negative impacts, leaving the positive benefits unrealized.[18] The Hazardous Air Pollutant provisions in the 1990 amendments to the U.S. Clean Air Act are an example of the Precautionary Principle where the onus is now on showing a listed compound is harmless. Under this rule no distinction is made between those air Pollutants that provide a higher or lower risk, so operators tend to choose less-examined agents that are not on the existing list.[19] A California researcher has pointed out the fallacy of extrapolating possible risk of a proposed product or action, without examining equally closely the possible risks of not adopting the proposal. When looking at the proposal, policymakers tend to apply PP to that proposal while assuming the alternative(s) to be risk-free, which places an unfair burden on the proponents of the new product or activity.[20] [edit] Perspective
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